JP
James V. Peters
CENTAURUS FINANCIAL
Costa Mesa, CA 92626
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CRD#: 2665577
JP
Professional summary
James V Peters, who also goes by Jim Peters, is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Costa Mesa, California.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. James has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jim Peters
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. ESTATE PLANNING TEAM, NON-INVESTMENT RELATED, 18662 MACARTHUR BLVD., SUTIE #330, IRVINE, CA 92612, HELPING CLIENTS WITH HIGHLY APPRECIATED ASSETS, MARKETING REP, SINCE 5/31/2016, DEVOTED TIME IS 12 HRS A MONTH. 2. DBA GRACE WEALTH MANAGEMENT GROUP, NON-INVESTMENT RELATED, 18662 MACARTHUR BLVD., SUITE #200, IRVINE, CA 92612, BRANDING PURPOSES ONLY, OWNER, SINCE 12/15/2012. 3. JAMES V. PETERS, AGENT, SINCE 1/1/1992, 18662 MACARTHUR BLVD., #200, IRVINE CA 92612, LIFE & HEALTH INSURANCE BROKER, DEVOTED TIME IS 20 HRS A MONTH, NON-INVESTMENT RELATED. 4. RENTAL REAL ESTATE PROPERTY, JOINT OWNERSHIP, SINCE 1/2011, 18662 MACARTHUR BLVD., SUITE #200, IRVINE, CA 92612, NON-INVESTMENT RELATED. 5. VICTORY FINANCIAL EDUCATION, NON-INVESTMENT RELATED, 1590 ADAMS AVE., UNIT 2549, COSTA MESA, CA 92626, NON-PROFIT EDUCATION, PRESIDENT, SINCE 12/4/2020. 6. VICTORIA VILLA ESTATE LLC POSITION: President NATURE: Real Estate Management INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: null START DATE: 04/01/2021 ADDRESS: 3205 Delaware Place, Costa Mesa CA 92626, United States DESCRIPTION: Real Estate Management
CRS (Client Relationship Summary) - RIA
Click below to view James V Peters's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James V Peters's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 22, 2012 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 3525 Hyland Avenue Suite #260, Costa Mesa, CA 92626RIA
BD
CRD#: 30833
Costa Mesa, CA
Current
May 7, 2012 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 3525 Hyland Avenue Suite #260, Costa Mesa, CA 92626RIA
BD
CRD#: 30833
Costa Mesa, CA
Past
April 24, 2007 - May 16, 2012
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
IRVINE, CA
Past
October 24, 2001 - May 16, 2012
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
IRVINE, CA
Past
December 5, 1995 - September 12, 2001
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Past
December 5, 1995 - September 12, 2001
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MILWAUKEE, WI
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CF
CENTAURUS FINANCIAL, INC.
CENTAURUS FINANCIAL, INC.
CRD#: 30833 / SEC#: 801-56882, 8-45185
RIA
Registered Investment Advisory firm - SEC (10/8/1999 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
IAR
Arizona(2/6/2017)
RR
Arizona(3/27/2024)
RR
California(5/7/2012)
IAR
California(5/22/2012)
IAR
Colorado(3/24/2021)
RR
Colorado(5/22/2024)
RR
District of Columbia(1/26/2015)
RR
Florida(3/19/2024)
IAR
Florida(5/29/2025)
RR
Georgia(5/7/2012)
IAR
Georgia(9/17/2020)
RR
Idaho(5/7/2012)
RR
Illinois(1/24/2017)
IAR
Illinois(2/3/2017)
RR
Maryland(11/4/2021)
IAR
Missouri(7/3/2023)
RR
Nevada(1/31/2017)
IAR
Nevada(2/16/2017)
RR
New Jersey(11/16/2015)
IAR
New Jersey(2/11/2025)
RR
Texas(1/24/2017)
IAR
Texas(11/10/2020)
RR
Washington(5/7/2012)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CF
CENTAURUS FINANCIAL, INC.
CENTAURUS FINANCIAL, INC.
CRD#: 30833 / SEC#: 801-56882, 8-45185
RIA
Registered Investment Advisory firm - SEC (10/8/1999 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
2300 E. Katella Avenue Suite 200, Anaheim, CA 92806
Mailing Address
2300 E. Katella Avenue Suite #200, Anaheim, CA 92806
Phone number
(714) 456-1790
Established
California since 08/27/1992
Firm type
Corporation
Fiscal year end
April
Firm Size
Large
# of Employees
580
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FEDERATION OF FINANCIAL SERVICES | OWNER | |
| KREMER, STEPHEN MARK | OWNER | 1188829 |
| RUBINO, MICHAEL PETER | OWNER | 1188940 |
| DUHOVIC, JEROME VICTOR | DIRECTOR/EVP/CHIEF ADMINISTRATIVE OFFICER | 2123754 |
| DUHOVIC, JEROME VICTOR | CHIEF COMPLIANCE OFFICER | 2123754 |
| KING, JAMES RONALD SR | DIRECTOR/CHAIRMAN OF THE BOARD/CEO | 269927 |
| KING, PAUL J | DIRECTOR/GENERAL COUNSEL | 5017845 |
| KING, WESTLEY HAYES | DIRECTOR/PRESIDENT | 2527676 |
| LEJMAN, SHERI J | CFO/SVP/PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER |
Regulatory assets under management
| Total Number of Accounts | 38,049 |
| AUM (Assets Under Management) | $ 7,336,108,151 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 8 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
